Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Mitchell is a financial advisor at UBS Financial Services Inc. with over 30 years of experience in the industry. Seth has a strong track record of providing personalized financial advice and investment management services to a wide range of clients, including individuals, families, and businesses. Seth has earned the Series 7, Series 63, and Series 65 licenses and holds registrations in multiple states, including New York, New Jersey, and Texas. Seth is dedicated to helping clients achieve their financial goals and is committed to providing exceptional client service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
09/29/2016 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
07/01/2003 - 10/26/2007
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
08/27/1992 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/24/1990 - 08/11/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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